Thomas S. Harman

Partner

Thomas S. Harman represents investment advisers (both publicly and privately held), mutual funds, closed-end funds, business development companies, and private investment funds. In so doing, he advises them on a variety of legal and compliance issues. Tom represents the board of directors of several fund families. He also advises issuers with respect to the availability of exemption from the Investment Company Act of 1940.

Extended Profile

Tom previously served as chief counsel and then associate director (chief counsel) of the Securities and Exchange Commission’s (SEC) Division of Investment Management.

A frequent speaker on investment management issues and the author of numerous articles on industry issues, Tom taught in the securities law program at the Georgetown University Law Center for more than a decade. He serves as co-planning chair of the Annual ALI-CLE Course on Investment Company Regulation and Compliance, and is on the Advisory Board of the ALI-CLE.

Based on feedback from clients, peers, and other industry professionals, Chambers USA has named Tom a leading US lawyer for investment management for the past eight years. Chambers noted that Tom is “a strong player” and that he is respected for “innovative and thoughtful work, coupled with encyclopedic knowledge.”